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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-01-14
TX RA APPROVED_RES 2025-01-08
  • AZ RA
    APPROVED
    Since 2025-01-14
  • TX RA
    APPROVED_RES
    Since 2025-01-08

Branch Locations

5215 N Sabino Canyon Rd Ste 136, Tucson, AZ 85750 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Summit Brokerage Services Tucson AZ 01/2014 09/2019
Cetera Wealth Services, Llc El Segundo CA 09/2019 Present
Cetera Investment Advisers Llc Schaumburg IL 01/2025 Present
  • 01/2014 → 09/2019
    Summit Brokerage Services
    Tucson, AZ
  • 09/2019 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 01/2025 → Present
    Schaumburg, IL
Other Businesses

(1) RICHARD BLYTHE; SINCE 06/15/2008; SAME ADDRESS AS BRANCH; SOLE PROPRIETOR; HEALTH INSURANCE SALES AND SERVICES; 2 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS; (2) NAME OF OTHER BUSINESS: BRENTWOOD FINANCIAL ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-23
S63 Uniform Securities Agent State Law Examination 1981-07-17
  • S65 Uniform Investment Adviser Law Examination
    2024-12-23
  • S63 Uniform Securities Agent State Law Examination
    1981-07-17

View on SEC IAPD

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